Ocugen, Inc.
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
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Jun 30, 2026 · Filed Aug 6, 2026
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Item 5. Other Information
On June 5, 2026, Shankar Musunuri, the Chairman of the Board of Directors and Chief Executive Officer of the Company, adopted a Rule 10b5-1 Sales Plan (the "Plan") intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
The Plan provides, during the term commencing on September 9, 2026 and ending on September 9, 2027, for the potential periodic sale of up to 2,188,783 shares of common stock owned by Dr. Musunuri, directly or indirectly, and for the potential sale from time to time of up to 2,802,208 shares of common stock issuable upon the exercise of options granted to Dr. Musunuri.
No other director or officer, as such term is defined in Rule 16a-1(f) promulgated under the Exchange Act, adopted, and no directors or officers of the Company terminated, any Rule 10b5-1 trading arrangement or any non-Rule 10b5-1 trading arrangement, as such terms are defined in Item 408(a) of Regulation S-K, during the quarter ended June 30, 2026.
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